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2018 Securities Law Developments Conference
October 25
Washington, DC

Preliminary Program

8:00 a.m.–5:00 p.m.

Registration


8:00–9:00 a.m.

Continental Breakfast


9:00–9:10 a.m.

Welcoming Remarks

Susan M. Olson
General Counsel
Investment Company Institute


9:10–9:30 a.m.

Keynote Address  

Dalia Blass
Director
Division of Investment Management
US Securities and Exchange Commission


9:30–10:30 a.m.

The Current and Future Regulatory Landscape for Funds

Susan M. Olson, Moderator
General Counsel
Investment Company Institute

Thomas C. Bogle
Partner
Dechert LLP

Paul Cellupica
Deputy Director and Chief Counsel
Division of Investment Management
US Securities and Exchange Commission 

Karrie McMillan
Managing Director
Patomak Global Partners 

Laura J. Merianos
Principal
Vanguard


10:30–10:45 a.m.

Networking Break


10:45–11:45 a.m.

What’s New for ETFs?

The SEC recently proposed its long-awaited ETF rule to replace the patchwork regulatory framework that currently governs the ETF industry. This panel will discuss the scope of proposed Rule 6c-11, related disclosure proposals, and the future of the ETF industry.

Jane G. Heinrichs, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

Stacy L. Fuller
Partner
K&L Gates 

Melissa S. Gainor
Senior Special Counsel, Investment Company Regulation Office
Division of Investment Management
US Securities and Exchange Commission 

Ryan G. Leshaw
Senior Vice President and Senior Counsel
PIMCO LLC


11:45 a.m.–1:15 p.m.

Luncheon and Speaker

Scott Bauguess
Deputy Chief Economist and Deputy Director
Division of Economic and Risk Analysis
US Securities and Exchange Commission


1:15–1:45 p.m.

Dessert and Networking Reception


1:45–2:45 p.m.

Saving the “Best” for Last? What the SEC’s Standards of Conduct Mean for Your Firm

The SEC’s standards of conduct proposals would change the regulatory landscape for investment professionals. While the SEC’s proposals focus on broker-dealers, they have important implications for funds. This panel will explore how the SEC’s rulemakings may affect fund distribution and management.

Sarah A. Bessin, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

Brian J. Baltz
Associate
Morgan, Lewis & Bockius LLP 

Sara Cortes
Assistant Director, Investment Adviser Regulation Office
Division of Investment Management
US Securities and Exchange Commission 

Lourdes Gonzalez
Assistant Chief Counsel, Sales Practices
Division of Trading and Markets
US Securities and Exchange Commission 

Robert Innes
Vice President and Associate General Counsel
Charles Schwab & Co.


2:45–3:45 p.m.

In the Interest of Full Disclosure: The SEC’s Evolving Views on Delivery, Content, and Review

This panel will discuss several SEC developments regarding disclosure, including two topics that are the subject of recent requests for comment: the Retail Investor Experience and Processing Fees Charged by Intermediaries for Distributing Shareholder Reports and Other Materials to Fund Shareholders. The panel also will discuss progress toward implementation of Rule 30e-3 and staff comments raised in the disclosure review process.

Dorothy M. Donohue, Moderator
Deputy General Counsel, Securities Regulation
Investment Company Institute

Nathan Briggs
Associate
Ropes & Gray

Margaret Carey
Vice President
Fidelity

Peter Davidson
Assistant General Counsel
Invesco

Michael Kosoff
Senior Special Counsel, Disclosure Review and Accounting Office
Division of Investment Management
US Securities and Exchange Commission


3:45–4:00 p.m.

Networking Break


4:00–5:00 p.m.

Chairman Clayton’s Impact on OCIE and Enforcement: Reset or Continuity?

This panel will discuss the work of the SEC’s Office of Compliance Inspections and Examinations (OCIE) and Division of Enforcement under Chairman Jay Clayton. The discussion will focus on significant examinations and enforcement actions over the past year that affect funds and their advisers and explore what the industry should anticipate from OCIE and Enforcement over the next year. 

Tamara K. Salmon, Moderator
Associate General Counsel, Securities Regulation
Investment Company Institute

Adam S. Aderton
Assistant Director, Asset Management Unit
Division of Enforcement
US Securities and Exchange Commission

Song P. Brandon
Senior Special Counsel
National Exam Program, Office of Chief Counsel
US Securities and Exchange Commission

Gregory D. DiMeglio
Partner
Stradley Ronon Stevens & Young, LLP

Frank Knox
Chief Compliance Officer
John Hancock Financial Services, Inc.


5:00 p.m.

Conference Adjournment